[Remote] Senior Manager Compliance Inspection at Empower

San Antonio, Texas, United States

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Financial ServicesIndustries

Requirements

Bachelor’s degree in business, finance, accounting, law, or equivalent experience
10+ years in compliance, audit, or regulatory roles within financial services
3–5 years leading teams or managing inspection or audit programs
Strong understanding of FINRA and SEC requirements for broker-dealers and investment advisers
Experience building or managing risk-based, data-driven compliance programs
Demonstrated ability to analyze inspection data, assess risk, and communicate findings clearly
Series 7 and 24 (or equivalent) and FINRA fingerprinting
Authorized to work for any employer in the U.S. (no sponsorship available)

Responsibilities

Build and execute a risk-based inspection program that adapts to regulatory changes and business priorities
Use technology and data analytics to streamline inspection workflows and identify emerging trends
Develop and manage the inspection schedule, ensuring timely completion and balanced coverage across risk tiers
Oversee data collection and reporting for regulatory filings, including FINRA’s Remote Inspection Pilot
Lead and coach a team of compliance specialists to deliver high-quality inspection results and actionable insights
Analyze inspection outcomes to identify trends, escalate issues, and recommend remediation
Partner with Legal, Risk, and Operations to enhance oversight and improve control design
Maintain complete and accurate inspection records in compliance with regulatory standards
Apply AI and workflow tools to improve process efficiency and transparency

Skills

Key technologies and capabilities for this role

data analyticsrisk managementcomplianceregulatory reportingFINRAteam leadershipAIworkflow toolsinspection programdata collection

Questions & Answers

Common questions about this position

What experience is required for the Senior Manager Compliance Inspection role?

Candidates need a Bachelor’s degree in business, finance, accounting, law, or equivalent experience, 10+ years in compliance, audit, or regulatory roles within financial services, 3–5 years leading teams or managing inspection or audit programs, strong understanding of FINRA and SEC requirements, and Series 7 and 24 (or equivalent) licenses with FINRA fingerprinting.

What is the salary or compensation for this position?

This information is not specified in the job description.

Is this role remote or does it require office work?

The company offers a flexible work environment, but specific remote or location requirements for this role are not detailed.

What is the company culture like at Empower?

Empower emphasizes a flexible work environment, fluid career paths, internal mobility, purpose, well-being, work-life balance, inclusivity, and associates' volunteering efforts.

What will make my application stand out for this role?

Highlight experience with FINRA’s Remote Inspection Pilot, using AI or automation tools for compliance, advanced data visualization skills, strong project management, stakeholder communication, and the ability to anticipate regulatory trends.

Empower

Personal finance management and credit building

About Empower

Empower.me provides personal finance management and credit building services through a subscription model. Users can sign up for a 14-day free trial, after which they pay $8 per month for access to various financial tools. These tools include customizable payment plans, budgeting features, and credit score monitoring. A key aspect of Empower.me is its focus on helping users build credit by reporting their payments to credit bureaus, which can enhance their credit history if payments are made on time. Additionally, Empower.me offers a Thrive line of credit, which involves a soft inquiry on the user's credit report, ensuring that their credit score remains unaffected during the application process. Unlike many competitors, Empower.me specifically targets individuals with no minimum credit score, aiming to improve their financial health and savings.

San Francisco, CaliforniaHeadquarters

2016Year Founded

$96.8MTotal Funding

LATE_VCCompany Stage

Fintech, Financial ServicesIndustries

51-200Employees

Benefits

Generous equity package

Full healthcare benefits

Unlimited PTO

Technology expense reimbursement

Work from anywhere

Risks

Increased competition from fintech companies like Chime and Varo could impact market share.

Integration challenges from acquisitions may disrupt operations and delay strategic goals.

Regulatory scrutiny on credit services could increase compliance requirements and costs.

Differentiation

Empower offers a unique subscription-based model for financial management tools.

The company focuses on credit building by reporting payments to credit bureaus.

Empower's Thrive line of credit involves a soft inquiry, not affecting credit scores.

Upsides

Acquisition of Petal and Cashalo expands Empower's product offerings and customer base.

Increased demand for financial literacy tools among millennials and Gen Z benefits Empower.

Growing interest in alternative credit scoring aligns with Empower's mission for underserved consumers.

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